Date: 1 March Version: 2.1

Transcription

1 Type of document: RSB International Standard Status: Approved for certification Date: 1 March 2011 Version: 2.1 Requirements for the qualification of accreditation and certification body auditors performing evaluations to RSB standards under the RSB certification systems RSB reference code: RSB-STD Published by the Roundtable on Sustainable Biomaterials (RSB). This publication or any part thereof may only be reproduced with the written permission of RSB, the publisher. Any reproduction in full or in part of this publication must mention the title and reference code and credit the above-mentioned publisher as the copyright owner. Contact details: RSB - Roundtable on Sustainable Biomaterials International Environment House 2 7 Chemin de Balexert CH 1219 Chatelaine (Geneva) Switzerland web: RSB-STD vers.2.1-Requirements for auditor qualification 1

2 Introduction The quality of audits performed under the RSB certification systems depends to an important extent on the qualifications of the auditors and the composition of the audit teams. Auditor qualifications and the quality of audit teams are key elements for ensuring that certification services reach credible and consistent result. The standard defines and addresses the basic requirements for the qualification of auditors and audit teams in the RSB certification systems. This standard complements RSB-STD General requirements for certification bodies with regard to the accreditation of certification bodies and RSB-STD RSB General requirements for accreditation bodies with regard to the recognition of the accreditation bodies under the RSB certification systems. Furthermore, it makes reference to ISO 19011: 2002(E) Guidelines for quality and/or environmental management systems auditing, relating to the qualification and competence of auditors. It also takes into account new approaches in evaluating auditor qualifications, currently under consideration by ISO, in the context of the development process of the standard ISO 17021: 2006 (E) Conformity assessment requirements for bodies providing certification of management systems. RSB-STD vers.2.1-Requirements for auditor qualification 2

4 A. Intent of this standard The intent of this standard is to ensure that auditors working for accreditation bodies and certification bodies recognized by the RSB consistently possess the knowledge, skills and experience to consistently, comprehensively and transparently carry out evaluations against RSB standards in the RSB certification systems. RSB recognized certification bodies and RSB recognized accreditation bodies shall implement this standard and ensure that auditors and audit teams employed to implement the RSB standards and RSB certification systems at minimum possess the knowledge, skills and experience detailed in this standard, and thereby facilitating the credibility and legitimacy of the RSB and so furthering international trade in biomass/biofuels and promoting social and environmental compliance. B. Scope of this standard The Requirements for auditor qualification (RSB-STD ) specify the requirements for evaluation systems operated by RSB recognized certification bodies and the requirements for all auditors and audit teams conducting evaluations to RSB standards on behalf of accreditation bodies and certification bodies operating under the RSB certification systems. This standard is applied at the level of the accredited entity that represents the certification body. C. Status and effective date The version 2.0 of the RSB Requirements for auditor qualification (RSB-STD ) shall be effective on 1 March D. Note on use of this standard RSB-STD RSB Requirements for auditor qualification is for use by all certification bodies operating schemes for the certification of participating operators against the RSB standards, and for use by all accreditation bodies operating schemes for the accreditation of certification bodies under the RSB certification systems. All aspects of this standard are considered to be normative, including the intent, scope, standard effective date, note on the use of this standard, references, terms and definitions, and requirements, unless otherwise stated. Users implementing this standard shall ensure that the intent of this standard is met. To ensure that the intent of this standard is met, users shall implement all of the requirements specified in this standard, and all additional measures necessary to achieve the intent of this standard. In the absence of RSB requirements or guidance users shall follow IAF guidance on the interpretation of ISO/IEC Guide 65: 1996 (E) General requirements for bodies operating product certification systems relating to qualification of auditors and audit teams, and implement the applicable requirements of the ISO 19011: 2002(E) Guidelines for quality and/or environmental management systems auditing, and ISO 17021: 2006 (E) Conformity assessment requirements for bodies providing certification of management systems. RSB-STD vers.2.1-Requirements for auditor qualification 4

7 G. Requirements 1. Provisions for auditor training and qualification The accreditation body and/or the certification body shall define the minimum qualification and competence requirements for lead auditors, auditors and technical experts for evaluation of participating operators within the RSB certification systems against the RSB standards in their documented management system in accordance to the requirements as specified in this standard The accreditation body and/or the certification body shall ensure that all lead auditors are in possession of at least one of the following certificates: a formal ISO 9001, ISO or OHSAS lead auditor certificate achieved through a recognized accredited training course a 3-days ISO training course certificate, including the successful examination provided by a qualified QMS, EMS or OHSAS Lead Auditor The accreditation body and/or the certification body shall ensure that lead auditors, auditors and technical experts participate successfully in training measures, and meet all qualifications prescribed by the RSB The accreditation body and/or the certification body shall ensure that all auditors for the RSB certification systems (accreditation and certification) shall possess at minimum the following qualifications: higher level education and five (5) years of professional experience in a discipline relevant to the evaluation (e.g. agriculture, ecology, forestry, sociology, economics, anthropology); at least three (3) years professional experience as an auditor; at least two (2) years professional experience as an auditor in product certification systems similar to the RSB certification systems (e.g. agricultural certification systems, RSPO, FLO, IFOAM, FSC, etc.); English language skills to read, comprehend, interpret, implement and otherwise handle the original documents published by the RSB; The accreditation body and/or the certification body shall ensure that all auditors for the RSB certification systems (accreditation and certification) are in possession of a certificate issued after the successful completion of an auditor training program on RSB standards and RSB certification systems, including, as a minimum the following: history and objectives of the Roundtable on Sustainable Biofuels (RSB); RSB standards for the accreditation of certification bodies and their RSB-STD vers.2.1-Requirements for auditor qualification 7

8 application by certification body auditors (including the RSB interpretation of the ISO Guide 65, evaluation of and reporting on participating operators); Risk assessment in the RSB certification systems (at the level of the participating operator, the certification body and the accreditation body); RSB standards for participating operators (RSB participating operator standards, chain of custody standards, standards for risk assessment, standards for communications and claims, standards for dispute resolution, standards for EU market access, standards for adaptation of the RSB Principles & Criteria; RSB requirements for the correct use of the RSB trademarks, and for protecting the good name of the RSB; details of gathering and analyzing evidence, developing evidenced findings, certification decision making, and in particular the definition and identification of major and minor non-conformances; The accreditation body and/or the certification body shall define for each auditor the scope of competence. The scope of competence shall be defined according to the training and qualification met by the lead auditor. The scope shall be defined according to the following categories: primary production auditor auditor which has gained and demonstrated experience in evaluating primary production of biomass against the RSB standards. The primary production auditor shall be qualified as local auditor and/or international auditor chain of custody auditor auditor which has gained and demonstrated experience in evaluating production, conversion and processing of biomass/biofuels, and specifically chain of custody tracking and of biomass/biofuels against the RSB standards. The chain of custody auditor shall be qualified as local auditor and/or international auditor local auditor auditor which has gained and demonstrated experience, and participated successfully in at minimum three (3) evaluations of participating operators of substantially different size and complexity against the RSB standards supervised by a fully qualified international auditor. The local auditor shall have gained and demonstrated experience in certification evaluations in at minimum one (1) other product certification systems similar to the RSB certification systems (e.g. agricultural certification systems, RSPO, FLO, IFOAM, FSC, etc.) international auditor auditor which has gained and demonstrated experience as a local auditor, and participated successfully in evaluations of participating operators of substantially different size and complexity in at minimum three (3) different continents and six (6) different countries against the RSB standards supervised by a fully qualified international lead auditor. The international auditor shall have gained and demonstrated experience as RSB-STD vers.2.1-Requirements for auditor qualification 8

9 certification evaluation in at minimum two (2) other product certification systems similar to the RSB certification systems (e.g. agricultural certification systems, RSPO, FLO, IFOAM, FSC, etc.) GHG auditor Auditor which are formally qualified to and practically experienced (i.e. more than 1 year) in implementation of ISO and ISO The accreditation body and/or the certification body shall ensure that all lead auditors for the RSB certification systems (accreditation and certification) shall possess at minimum the following qualifications: all qualification listed under points 1.4., 1.5. and 1.6. of this standard; university level education (or equivalent) in a discipline relevant to the evaluation (e.g. agriculture, ecology, forestry, sociology, economics, anthropology); at least five (5) years professional experience as an auditor; gained and demonstrated experience as international primary production auditor, and as international chain of custody auditor, and successfully led at least three (3) evaluations of participating operators of substantially different size and complexity against the RSB standards supervised by a fully qualified international lead auditor The certification body shall ensure that all lead auditors for certification within the RSB certification systems have successful completed at least two (2) evaluations of participating operators involved in primary production and two (2) evaluations of participating operators involved in chain of custody tracking, which were witnessed by the RSB recognized accreditation body and where the RSB recognized accreditation body did not raise major nonconformity against aspects under the responsibility of the lead auditor. The evaluations shall include participating operators of substantially different size and complexity The accreditation body shall ensure that all lead auditors for accreditation within the RSB certification systems have successfully completed at least four (4) evaluations of RSB recognized certification bodies under supervision of a fully qualified international accreditation lead auditor, where the international accreditation lead auditor did not identify major nonconformity against aspects under the responsibility of the lead auditor for accreditation The accreditation body shall ensure that before qualifying as accreditation lead auditor, any accreditation auditor has successfully lead and completed four (4) evaluations of RSB recognized certification bodies under supervision of a fully qualified accreditation lead auditor, where the supervising, fully qualified accreditation lead auditor did not identify any major nonconformities against aspects under the responsibility of the accreditation auditor leading the RSB-STD vers.2.1-Requirements for auditor qualification 9

10 evaluations of RSB recognized certification bodies The accreditation body and/or the certification body shall ensure that all auditor trainers for the RSB certification systems (accreditation and certification) shall possess at minimum the following qualifications: all qualification listed under points 1.4., 1.5., 1.6. and 1.7. of this standard; at least two (2) years professional experience as lead auditor; gained and demonstrated experience as lead auditor, and successfully least provided three (3) training sessions covering all aspects of the RSB standards and RSB certification systems supervised by a fully qualified auditor trainer The accreditation body and/or the certification body shall ensure that auditors, lead auditors, auditor trainers supervising the qualification of auditors, lead auditors and/or auditor trainers as specified in points 1.6., 1.7. and 1.8. shall document the supervision in a qualification report. The qualification report shall include evidence that the auditor, lead auditor and/or auditor trainer which are being supervised have demonstrated any and all competence required. The qualification reports shall become part of the permanent qualification records of the auditor, lead auditor and/or auditor trainer The accreditation body and/or the certification body shall notify the RSB SOE of all auditors, lead auditors, auditor trainers involved in implementation of the RSB standards and RSB certification systems. This notification shall include documented evidence to substantiate that the auditors, lead auditors, auditor trainers meet the all requirements specified by the RSB The RSB SOE shall be able to refuse at its sole discretion the involvement of auditors, lead auditors, auditor trainers in implementation of the RSB standards and RSB certification systems The RSB SOE shall inform the accreditation body and/or certification body within two (2) weeks of gaining knowledge of the reasons for refusal of involvement of auditors, lead auditors, auditor trainers. The information to the accreditation body and/or certification body shall include a description of the reasons for refusal of involvement of auditors, lead auditors, auditor trainers, and if available all evidence substantiating the reasons for refusal. 2. Provisions for audit teams The accreditation body and/or the certification body shall ensure that audit teams for the evaluation of participating operators include the following competence: a qualified lead auditor; at least on international auditor; RSB-STD vers.2.1-Requirements for auditor qualification 10

11 at least one local auditor; auditor qualified for the respective area of evaluation (i.e. primary production auditor and/or chain of custody auditor); at least one person who is fully fluent in English language and the main language spoken in the locality where the evaluation takes place (e.g. a designated independent interpreter if an independent interpreter is employed, the independent interpreter shall not have been involved in any capacity or relation whatsoever with the participating operator for at minimum 5 years); NOTE: the requirements may be combined e.g. the lead auditor can also covers the competence of international auditor, and the lead auditor, the international auditor and/or the local auditor can also cover the qualification for the respective area of evaluation (primary production, chain of custody), and the lead auditor, the international auditor and/or the local auditor can also cover the competence as being fully fluent in English language and the main language spoken in the locality where the evaluation takes place thus reducing the audit team to one (1) lead auditor and one (1) local auditor The accreditation body and/or the certification body shall ensure that audit teams for the evaluation of participating operators involved in primary production involve social experts if the participating operator evaluated could potentially have or need to have significant interactions with neighboring communities, and/or indigenous peoples or community rights or tenure and/or other social issues The accreditation body and/or the certification body shall ensure that audit teams for the evaluation of participating operators involved in primary production involve environmental experts if the participating operator evaluated could potentially have significant environmental impacts The accreditation body and/or the certification body shall ensure that audit teams for the evaluation of participating operators involved in GHG calculation involve auditors and/or technical experts, which are formally qualified to and practically experienced (i.e. more than 1 year) in implementation of ISO and ISO Guidance for the selection of audit team members for evaluations of primary production (refers to lead auditors, auditors and technical experts) Primary production issues: The audit team shall include members with experience in primary production of the size and complexity under evaluation. For example, if a large primary production area is being assessed, the audit team shall include members who have themselves managed and/or 1 ISO Greenhouse gases -- Part 3: Specification with guidance for the validation and verification of greenhouse gas assertions 2 ISO 14065:2007 Greenhouse gases -- Requirements for greenhouse gas validation and verification bodies for use in accreditation or other forms of recognition RSB-STD vers.2.1-Requirements for auditor qualification 11

12 worked for operations of a similar type or who have professional experience, for example as consultants or advisors to similar kinds of operations. Social issues: If the primary production under evaluation could potentially have or need to have significant interactions with neighboring communities, and/or indigenous peoples or community rights or tenure and/or other social issues, then the audit team shall include expert(s) who have knowledge of these issues, appropriate language/dialect skills, and experience in interacting with indigenous peoples and communities in the locality concerned. The audit team shall include members with knowledge and capacity to evaluate workers rights such as health and safety aspects and application of employment legislation in the locality. Environmental issues: The audit team shall include members with the experience and knowledge to evaluate the participating operator s process for identifying and minimizing environmental impacts. If the primary production under evaluation could potentially have significant impacts on the environment, then the audit team shall include expert(s) who have knowledge of these environmental issues, appropriate language/dialect skills, and experience in identifying and minimizing environmental impacts in the locality concerned. Qualification or professional experience in the area of ecology relevant for the ecosystems under evaluation is of key importance. General knowledge of the management of rare or endangered species which could be present in the primary production area, and knowledge of key environmental impacts such as those on hydrology or soils shall also be required. RSB-STD vers.2.1-Requirements for auditor qualification 12

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